{"url":"https://nivawealth.com/firms/tcw-asset-management-105742","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105742","regulatoryAum":81175239986,"crd":"105742","secFileNumber":"801-6642","legalName":"TCW Asset Management Company LLC","displayName":"TCW Asset Management","website":null,"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"515 South Flower Street","city":"Los Angeles","state":"CA","stateName":"California","country":"United States","postalCode":"90071"},"tradeNames":[],"registration":{"secApproved":"12 June 1970","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":431,"advisory":145,"brokerDealerReps":87,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":81103646622,"discretionaryAccounts":214,"nonDiscretionary":71593364,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":44,"nonAumClients":2},"clientTypes":[{"label":"High-net-worth individuals","clients":19,"regulatoryAum":637446213},{"label":"Banking or thrift institutions","clients":1,"regulatoryAum":434266183},{"label":"Business development companies","clients":5,"regulatoryAum":3194405549},{"label":"Pooled investment vehicles","clients":84,"regulatoryAum":30108893228},{"label":"Pension and profit-sharing plans","clients":22,"regulatoryAum":6360561601},{"label":"Charitable organizations","clients":5,"regulatoryAum":327919424},{"label":"State or municipal government entities","clients":17,"regulatoryAum":9326721064},{"label":"Insurance companies","clients":13,"regulatoryAum":8049788138},{"label":"Sovereign wealth funds and foreign official institutions","clients":22,"regulatoryAum":21551072447},{"label":"Corporations and other businesses","clients":12,"regulatoryAum":1184166139}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":12717872577},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":16988233731},{"name":"Jpmorgan Chase & Co","shortName":"J.P. Morgan","location":"Columbus, OH","smaAssets":16209069771}],"custodyNote":"TCW Asset Management has custody of $2.71B for 9 clients.","otherCustodians":[],"leadership":[{"name":"Kathryn Koch","title":"President and Chief Executive Officer","crd":"4561711"},{"name":"Andrew Bowden","title":"Board Member, Executive Vice President, General Counsel and Secretary","crd":"2480645"},{"name":"Jessica Kung","title":"Executive Vice President, and Chief Human Resources Officer","crd":"4833819"},{"name":"Melissa Stolfi","title":"Executive Vice President and Global Chief Operating Officer","crd":"4975592"},{"name":"Richard Villa","title":"Board Member, Executive Vice President, Chief Financial Officer","crd":"5586600"},{"name":"Kathryn Jones","title":"Global Chief Compliance Officer","crd":"6768341"},{"name":"Marc Stern","title":"Chairman","crd":"4335929"}],"ownership":[{"label":"The TCW Group, Inc.","detail":"Sole member in the 75% or more ownership band and a control person, since May 1970."},{"label":"Clipper Acquisitions Corp.","detail":"Indirect owner: a shareholder of The TCW Group, Inc. in the 75% or more band and a control person, since February 2013.","parent":"The TCW Group, Inc."},{"label":"Clipper Intermediate Corp.","detail":"Indirect owner: a shareholder of Clipper Acquisitions Corp. in the 75% or more band and a control person, since July 2012.","parent":"Clipper Acquisitions Corp."},{"label":"Clipper Holding, L.P.","detail":"Indirect owner: a shareholder of Clipper Intermediate Corp. in the 75% or more band and a control person, since July 2012.","parent":"Clipper Intermediate Corp."},{"label":"Clipper GP, L.L.C.","detail":"Indirect owner: general partner of Clipper Holding, L.P. and a control person, since July 2012.","parent":"Clipper Holding, L.P."},{"label":"Nippon Life Americas, Inc.","detail":"Indirect owner: a shareholder of Clipper Holding, L.P. in the 50% to 75% band and a control person, since December 2017.","parent":"Clipper Holding, L.P."},{"label":"Nippon Life Insurance Company","detail":"Indirect owner: a shareholder of Nippon Life Americas, Inc. in the 75% or more band and a control person, since April 2013.","parent":"Nippon Life Americas, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":8,"privateResidences":3},"listedOfficeAddresses":5,"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"515 South Flower Street","city":"Los Angeles","headquarters":true},{"street":"301 Hartz Avenue","city":"Danville"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"500 W. Madison Street,","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"The John Hancock Tower","city":"Boston"}]},{"state":"New York","offices":1,"addresses":[{"street":"1251 Avenue of the Americas","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"213-244-0000","stateRegisteredReps":20,"otherAdviserReps":20,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"U.S. government/agency bonds","percent":10},{"label":"Sovereign bonds","percent":13},{"label":"Investment grade corporate bonds","percent":33},{"label":"Non-investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":5},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":30,"detail":"Abs, Equity, MBS, Or Muni Trades."}],"privateFunds":39},"sources":{"adv1FilingDate":"5 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105742/PDF/105742.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does TCW Asset Management have?","answer":"TCW Asset Management has 200 clients and manages $81.2 billion for them, as of May 2026. They include 84 pooled investment vehicles, 22 pension and profit-sharing plans and 22 sovereign wealth funds and foreign official institutions.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does TCW Asset Management offer?","answer":"TCW Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does TCW Asset Management use?","answer":"TCW Asset Management’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $16,988,233,731, Jpmorgan Chase & Co (Columbus, OH), with $16,209,069,771 and The Bank of New York Mellon (New York, NY), with $12,717,872,577. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does TCW Asset Management have?","answer":"TCW Asset Management has 20 investment adviser representatives registered with state securities authorities, out of 431 employees, and 145 perform investment advisory functions. 87 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does TCW Asset Management invest in?","answer":"At the end of its last fiscal year, TCW Asset Management’s separately managed accounts held 33% investment grade corporate bonds, 30% abs, equity, mbs, or muni trades., 13% sovereign bonds, 10% U.S. government and agency bonds, 6% exchange-traded equities, 5% registered funds (mutual funds, ETFs, BDCs), 3% high-yield corporate bonds and 2% cash and equivalents. It advises 39 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns TCW Asset Management?","answer":"TCW Asset Management is owned through a chain of holding companies by Nippon Life Insurance Company. Its direct owner is the TCW Group, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does TCW Asset Management get paid?","answer":"TCW Asset Management is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}